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RCM

Rivernorth Capital Management Portfolio holdings

AUM $2B
1-Year Est. Return 0.79%
This Fund
S&P 500
This Quarter Est. Return
-3.42%
1 Year Est. Return
-0.79%
3 Year Est. Return
+4.8%
5 Year Est. Return
-8.69%
10 Year Est. Return
+11.73%
AUM
$1.25B
AUM Growth
+$4.13M
Cap. Flow
+$50.9M
Cap. Flow %
4.07%
Top 10 Hldgs %
25.52%
Holding
203
New
26
Increased
73
Reduced
52
Closed
28

Top Buys

Rank Stock Value
1
DRA
Diversified Real Asset Income Fd
DRA
+$11.1M
2
ACG
AllianceBernstein Income Fund Inc
ACG
+$10.1M
3
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$8.04M
4
NPT
NUVEEN PREM INSD MUNI FD-4 INC
NPT
+$6.87M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$6.62M

Top Sells

Rank Stock Value
1
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$9.49M
2
NML
Neuberger Energy Infrastructure and Income Fund Inc
NML
+$8.89M
3
ETJ
Eaton Vance Risk-Managed Diversified Equity Income Fund
ETJ
+$6.56M
4
NMA
NUVEEN MUNI ADVANTAGE FUND
NMA
+$5.22M
5
BSP
AMERN STRATEGIC INCM PORTF II
BSP
+$4.4M

Sector Composition

Rank Sector Weight
1 Financials 3.96%
2 Technology 0.18%
3 Energy 0.05%
4 Consumer Discretionary 0.03%
5 Communication Services 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JMT
101
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
$3.4M 0.27%
145,788
+38,209
+36% +$898K
DMB
102
BNY Mellon Municipal Bond Infrastructure Fund
DMB
$196M
$3.37M 0.27%
286,215
+83,167
+41% +$973K
EFF
103
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$3.37M 0.27%
195,162
+48,906
+33% +$872K
FTT
104
DELISTED
FEDERATED ENHANCED TREAS INCM FD COM BEN INTEREST
FTT
$3.35M 0.27%
248,309
+6,799
+3% +$91.1K
ABE
105
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
$3.3M 0.26%
237,987
+7,905
+3% +$115K
NQS
106
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$3.23M 0.26%
236,207
+600
+0.3% +$8.19K
NZF icon
107
Nuveen Municipal Credit Income Fund
NZF
$2.45B
$3.17M 0.25%
231,867
+198,691
+599% +$2.76M
IQI icon
108
Invesco Quality Municipal Securities
IQI
$534M
$3.14M 0.25%
259,173
-3,550
-1% -$43.1K
GHI
109
DELISTED
GLOBAL HIGH INCOME FUND INC.
GHI
$3.08M 0.25%
319,201
+32,363
+11% +$325K
GDL
110
GDL Fund
GDL
$92.1M
$3.03M 0.24%
287,415
+143,370
+100% +$1.54M
LCM
111
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
$3.02M 0.24%
318,207
-88,324
-22% -$893K
PMO
112
Franklin Municipal Opportunities Trust
PMO
$285M
$2.92M 0.23%
250,000
-14,542
-5% -$169K
EMD
113
Western Asset Emerging Markets Debt Fund
EMD
$616M
$2.58M 0.21%
150,752
-53,100
-26% -$958K
NPF
114
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$2.57M 0.21%
191,222
-10,402
-5% -$140K
NSLR
115
Neostellar Capital Corp
NSLR
$254M
$2.49M 0.2%
382,994
+142,551
+59% +$949K
MGU
116
DELISTED
Macquarie Global Infrastructure Total Return Fund, Inc.
MGU
$2.43M 0.19%
98,044
-11,815
-11% -$303K
AMG icon
117
Affiliated Managers Group
AMG
$9.76B
$2.42M 0.19%
12,100
– –
AGC
118
DELISTED
Advent Claymore Conv Sec & Incme
AGC
$2.27M 0.18%
333,668
-840
-0.3% -$6.13K
VGM icon
119
Invesco Trust Investment Grade Municipals
VGM
$564M
$2.23M 0.18%
169,884
-28,800
-14% -$372K
NPP
120
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
$2.13M 0.17%
146,744
– –
JHP
121
DELISTED
NUVEEN QUALITY PREFERRED INCOME FUND 3
JHP
$2.1M 0.17%
251,345
+4,100
+2% +$34.8K
MTS
122
DELISTED
MONTGOMERY STR INCOME SECS
MTS
$2.09M 0.17%
+128,139
New +$2.1M
NSL
123
DELISTED
NUVEEN SENIOR INCM FD
NSL
$2M 0.16%
299,201
+33,121
+12% +$229K
SPE
124
Special Opportunities Fund
SPE
$144M
$1.99M 0.16%
124,694
– –
CET
125
Central Securities Corp
CET
$1.65B
$1.85M 0.15%
80,395
– –
3 4
5
6 7

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Rivernorth Capital Management's Q3 2014 Portfolio in Review

As of Q3 2014, Rivernorth Capital Management held 203 positions worth $1.25B, up 0.33% from $1.25B the previous quarter. Its ten largest holdings account for 26% of the portfolio.

Rivernorth Capital Management deployed $50.9M of net new capital in Q3 2014, opening 26 new positions and adding to 73 existing holdings. Its largest new stake was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.

By sector, the portfolio is most concentrated in Financials at 4% of assets, up from 3.9% a quarter earlier, followed by Technology and Energy.

On the sell side, the largest reduction was NUVEEN MUNI ADVANTAGE FUND, an estimated $5.22M trimmed.

  • Rivernorth Capital Management's largest Q3 2014 buy was Diversified Real Asset Income Fd: 626,697 shares worth $11.1M.
  • Rivernorth Capital Management added most to AllianceBernstein Income Fund Inc in Q3 2014, an estimated $10.1M increase.
  • Rivernorth Capital Management's biggest Q3 2014 reduction was NUVEEN MUNI ADVANTAGE FUND, cutting an estimated $5.22M.
  • Rivernorth Capital Management fully exited NUVEEN PREMIUN INC MUN FUND in Q3 2014, selling an estimated $9.49M.
  • Rivernorth Capital Management's ten largest holdings make up 26% of its $1.25B portfolio in Q3 2014.
  • Rivernorth Capital Management opened 26 new positions and closed 28 in Q3 2014.
  • Rivernorth Capital Management's portfolio value rose 0.33% quarter-over-quarter to $1.25B.

Based on Rivernorth Capital Management's 13F filing for Q3 2014, filed 14 Nov 2014.